Catalina TRH Fund Ltd.
Built from the SEC filing index the day the filing landed. The figures below are the issuer's own from Form D; AltStreet's analysis, sponsor link and data flags follow when the entity is enriched.
Raised
$12M
Investors
5
Min Invest
$100,000
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What this filing shows
·Every sentence is a value as filed on SEC Form D
Catalina TRH Fund Ltd. is a Cayman Islands entity that first filed a Form D on March 11, 2019 and most recently amended it on September 19, 2023, describing itself as a hedge fund. The offering claims Rule 506(b), Section 3(c), Section 3(c)(7) and covers pooled investment fund interests. Catalina TRH Fund Ltd. reported $12,069,995 sold from 5 investors in an offering of indefinite size as of the Form D filed September 19, 2023. The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. Because the fund also relies on Section 3(c)(7), each investor must be a qualified purchaser, generally an individual with at least $5 million in investments. The filing reports no non-accredited investors. The minimum investment accepted from an outside investor is $100,000. The Form D names PIMCO INVESTMENTS LLC (CRD 154957), associated with None as the recipient of sales compensation soliciting in all states. The issuer's address of record is 650 Newport Center Drive, Newport Beach, CA 92660.
Critical Disclosures
What the filings and the regulators have said about this entity that a reader should know first. Each line links to its source. The history, the same event across other issuers, and alerts are in the terminal.
Reporting lapsed · Form D · last filing September 19, 2023
Offering declared to continue beyond a year; annual amendment 13+ months overdue An issuer that stops filing is the case the going-concern flag cannot catch: the report that would have carried it was never filed.
EDGAR Filing Data
Form D — Primary Source
View on SEC.govFilings on Record
Every filing AltStreet's ledger holds for this CIK, newest first. Each opens the SEC archive folder.
In the Terminal
Filing events
0
none on file
Critical / warning
0 / 0
0 watch · 0 info
Statements extracted
0
none on file
NAV prints
0
none on file
Offering chains
1
dark
Investor
- 1 offering timeline: velocity, share raised, first-sale lag, stalled flags
Pro
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Related Persons (Form D)
Executive officers, directors, and promoters listed on the SEC Form D filing. Source: SEC.gov.
Item 3 changed on the Form D filed 2023-09-19: 4 related persons added and 6 removed against the filing of 2022-12-02; 19 now listed. The names are in the Terminal feed.
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC
Promoter · NEWPORT BEACH, CA
"INVESTMENT MANAGER OF THE ISSUER (""INVESTMENT MANAGER"")"
DAVID CARL FLATTUM
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
GREGORY WESTON HALL
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
DANIEL JOHN IVASCYN
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
MARK RICHARD KIESEL
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
JOHN JEFFREY KIRKOWSKI
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
KIMBERLEY GRACE KORINKE
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
JULIE GRACE O'HARA
Director · GRAND CAYMAN, E9
DIRECTOR OF THE ISSUER
SONALI SHAH PIER
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
EMMANUEL SHAH ROMAN
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
MARC PETER SEIDNER
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
ROBIN CHRISTINE SHANAHAN
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
JASON ROBERT STEINER
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
THIBAULT CHRISTIAN STRACKE
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
PETER G. STRELOW
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
QI G. WANG
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
CANDICE STACK WHITTEN
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
MICHELLE STACK WILSON-CLARKE
Director · GRAND CAYMAN, E9
DIRECTOR OF THE ISSUER
NADIA STACK ZAKIR
Executive Officer · NEWPORT BEACH, CA
EXECUTIVE OFFICER OF THE INVESTMENT MANAGER
Placement Agents and Sales Compensation (Form D)
Who the issuer reported paying to sell the securities (Form D Item 12), with the FINRA registration number the filer gave. Source: SEC.gov.
PIMCO INVESTMENTS LLCCRD 154957 on BrokerCheck
Associated broker-dealer: None · NEW YORK, NY · Soliciting in all states and outside the United States
Questions About Catalina TRH Fund Ltd.
Each answer is built from the values on the SEC filing and the AltStreet ledger, not from the issuer's marketing.
What is Catalina TRH Fund Ltd.?
Catalina TRH Fund Ltd. is a Cayman Islands entity that filed a Form D with the SEC on September 19, 2023 as a hedge fund. The filing claims Rule 506(b), Section 3(c), Section 3(c)(7) for an offering of pooled investment fund interests.
Is Catalina TRH Fund Ltd. legit?
AltStreet does not rate legitimacy; it reports the public record. Catalina TRH Fund Ltd. filed a Form D with the SEC on September 19, 2023 claiming Rule 506(b), Section 3(c), Section 3(c)(7). A Form D is a notice of an exempt offering, not a review or approval of it. The newest notice reports $12,069,995 sold to 5 investors. AltStreet's enforcement record (SEC, FINRA and state actions) shows no action naming the issuer as of today. Before investing, confirm the filing on EDGAR, check the seller's registration on FINRA BrokerCheck, and read the offering documents, which a Form D does not include.
Is Catalina TRH Fund Ltd. registered with or approved by the SEC?
No. A Form D is a notice that an issuer is selling securities under an exemption from registration, and the SEC does not review, approve, or pass on the merits of the offering. The filing shows that Catalina TRH Fund Ltd. claimed Rule 506(b), Section 3(c), Section 3(c)(7) and disclosed the items the form requires, such as the amount sold, the minimum investment, related persons, and anyone paid to sell the securities. It does not verify the issuer's claims or its business.
How much has Catalina TRH Fund Ltd. raised?
Catalina TRH Fund Ltd. reported $12,069,995 sold from 5 investors in an offering of indefinite size as of the Form D filed September 19, 2023.
Who can invest in Catalina TRH Fund Ltd.?
The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. Because the fund also relies on Section 3(c)(7), each investor must be a qualified purchaser, generally an individual with at least $5 million in investments. The filing reports no non-accredited investors. The minimum investment accepted from an outside investor is $100,000.
What is the minimum investment in Catalina TRH Fund Ltd.?
The Form D lists $100,000 as the minimum investment accepted from any outside investor as of September 19, 2023. Issuers can waive their own minimums, and the figure does not include fees.
Who is selling Catalina TRH Fund Ltd. and how are they paid?
The Form D names PIMCO INVESTMENTS LLC (CRD 154957), associated with None as the recipient of sales compensation soliciting in all states.
Who is behind Catalina TRH Fund Ltd.?
The Form D lists 19 related persons: PACIFIC INVESTMENT MANAGEMENT COMPANY LLC, promoter ("INVESTMENT MANAGER OF THE ISSUER (""INVESTMENT MANAGER"")"); DAVID CARL FLATTUM, executive officer (EXECUTIVE OFFICER OF THE INVESTMENT MANAGER); GREGORY WESTON HALL, executive officer (EXECUTIVE OFFICER OF THE INVESTMENT MANAGER); DANIEL JOHN IVASCYN, executive officer (EXECUTIVE OFFICER OF THE INVESTMENT MANAGER); MARK RICHARD KIESEL, executive officer (EXECUTIVE OFFICER OF THE INVESTMENT MANAGER); JOHN JEFFREY KIRKOWSKI, executive officer (EXECUTIVE OFFICER OF THE INVESTMENT MANAGER); KIMBERLEY GRACE KORINKE, executive officer (EXECUTIVE OFFICER OF THE INVESTMENT MANAGER); JULIE GRACE O'HARA, director (DIRECTOR OF THE ISSUER), and 11 more. Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.
Where is Catalina TRH Fund Ltd. located?
The issuer's address on its SEC filings is 650 Newport Center Drive, Newport Beach, CA 92660. Its phone number of record is 949-720-6000. It is organized under the laws of Cayman Islands.
How long is the Catalina TRH Fund Ltd. offering open?
The issuer indicated that the offering is intended to last more than one year. An issuer must amend its Form D annually while a continuing offering stays open; 4 amendments are on record for this CIK.
How large is Catalina TRH Fund Ltd.?
The issuer declined to disclose its net asset value range on the Form D, which the form permits.
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Data Methodology
Capital raise figures, investor counts, and filing dates are sourced directly from SEC EDGAR Form D primary documents via the SEC EDGAR submissions API and full-text search index. EDGAR entity profiles and deal-level data are reviewed by AltStreet analysts with backgrounds in corporate finance and securities law — cross-referenced against offering circulars, audited financial statements, and primary regulatory filings before publication. Platform-provided information, where present, is clearly labeled and does not affect EDGAR data or AltStreet editorial coverage. Platforms may request factual corrections for demonstrable inaccuracies by contacting [email protected]. This page does not constitute investment advice.